Financial Service Providers

We assist individuals and entities operating in the financial service and credit industry in New Zealand to satisfy their initial and ongoing compliance obligations under New Zealand’s financial services laws.

We offer services to financial service providers, financial advisers, authorised financial advisers, QFEs, custodians and brokers. Our services include the following:

  • Registration on the Financial Service Provider Register.
  • Assistance with joining an approved dispute resolution scheme.
  • Preparation and submission of an application to become a qualifying financial entity.
  • Preparation, review and amendments to adviser business statements.
  • Assistance with becoming an authorised financial adviser.
  • Satisfying initial and ongoing disclosure obligations.
  • Understanding and complying with the code of professional conduct for authorised financial advisers.
  • Satisfying broking and custodian obligations.
  • Understanding and complying with the responsible lending code.
  • Satisfying obligations under FATCA (Foreign Account Tax Compliance Act).
  • Complaints handling.

Feel free to contact us at any time if you would like further information about the services that we provide to financial service providers.  We don’t charge for an initial consultation, and in this consultation we will give you guidance and let you know how we can assist.